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FATE THERAPEUTICS INC — Director's Dealing 2014
Jun 11, 2014
34091_dirs_2014-06-11_87e5c9dd-7b98-49d0-84e7-4c621aa38c98.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: FATE THERAPEUTICS INC (FATE)
CIK: 0001434316
Period of Report: 2014-06-09
Reporting Person: Flynn Peter D (See remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-06-09 | Common Stock | M | 1260 | $1.63 | Acquired | 6645 | Direct |
| 2014-06-09 | Common Stock | S | 1955 | $7 | Disposed | 4690 | Direct |
| 2014-06-10 | Common Stock | M | 699 | $1.63 | Acquired | 5389 | Direct |
| 2014-06-10 | Common Stock | S | 1350 | $7 | Disposed | 4039 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-06-09 | Stock Option (right to buy) | $1.63 | M | 1260 | Disposed | 2022-02-08 | Common Stock (1260) | Direct |
| 2014-06-10 | Stock Option (right to buy) | $1.63 | M | 699 | Disposed | 2022-02-08 | Common Stock (699) | Direct |
Footnotes
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 19, 2013.
F2: The shares subject to this option shall vest and become exercisable at the rate of 1/4th of the shares on May 30, 2012 and 1/48th of the shares each month thereafter such that this option is fully exercisable on May 30, 2015. This option is subject to accelerated vesting upon a change of control of the Issuer and in the event of termination of employment under certain circumstances following a change of control of the Issuer.
F3: Not applicable.